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Detailed Report
DONOVAN C KOAH
DONOVAN CHUNHUNG KOAH, DONOVAN KOAH, Donovan C Koah
CRD#: 3105295
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 225 S. LAKE AVE
STE 700
PASADENA, CA 91101
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2020 (10 years)2 FIRMS2020 - Present (4 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2000 - 2009 (9 years)BBA INVESTMENT SERVICES, INC. (CRD# 12965)1998 - 1999 (<1 year)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2004 - 2009 (5 years)
Disclosure(s)
View By:
6/24/2015
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 4/13/2023
B
District of Columbia 5/27/2020
B
California 5/21/2020
B
Missouri 8/7/2024
IA
California 5/21/2020
B
Washington 5/21/2020

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
225 S. LAKE AVE STE 700, PASADENA, CA 91101
Registered with this firm since 5/21/2020
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
225 S. LAKE AVE STE 700, PASADENA, CA 91101
Registered with this firm since 5/21/2020
Previous Registration(s)
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IA
 10/23/2009 - 05/22/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 10/23/2009 - 05/22/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
IA
 02/11/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) ROSEMEAD, CA
B
 08/07/2000 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) ROSEMEAD, CA
B
 08/20/1998 - 06/21/1999 BA INVESTMENT SERVICES, INC. (CRD#:12965) OAKLAND, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.